RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T••••• L• T•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 10, 2020 · Florence, Al
- P•• M•••••• A•••••• S••••••••• I••• formerAug 20, 2012 to Jan 10, 2020 · Decatur, Al
- P•• W••••• M••••••••• BD affiliatedMar 19, 2012 to Aug 13, 2012 · Palm Beach Gardens, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Mar 14, 2012 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 6, 2010 to Oct 15, 2010 · Athens, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedAug 18, 2009 to Mar 16, 2010 · Athens, Al
- P•• M•••••• A•••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 10, 2020, registered Jan 10, 2020 (0 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Aug 13, 2012, registered Aug 20, 2012 (7 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Mar 14, 2012, registered Mar 19, 2012 (5 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 16, 2010, registered Apr 6, 2010 (21 days) · corporate re-registration, not a move
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address